You're using an older version of Internet Explorer that is no longer supported. Please update your browser.
McNeill Nakamoto Recruitment Group

Our client is a leading Wealth Management firm, currently looking for a supportive, detailed and organized Compliance Officer to join their successful team. The ideal candidate is resourceful and able to efficiently assist with day-to-day operations while servicing a team of high-performing Financial Advisors. This is a 13-18 month contract position. 

Location: Vancouver, BC

Responsibilities:

  • Oversee and monitor daily/monthly account activity and ensure accuracy
  • Evaluate and approve documentation of new accounts
  • Monitor key issues and effectively follow-up on outstanding compliance items
  • Provide compliance policy guidance to branch office staff and Advisors
  • Assist with compliance policy enhancement and creation
  • Work with various departments to ensure compliance requirements are met and branch-related issues are addressed

Requirements:

  • Minimum 3 years of similar investment compliance experience
  • Post-secondary education is an asset; branch manager license and/or completion of CSC and CPH is an asset
  • In-depth knowledge of investment compliance, regulations and rules is required
  • Ability to work autonomously and within a team
  • Sharp eye for detail and strong analysis skills
  • Strong commitment to service and ability to provide support to Advisor networks
  • Proficiency in MS Office Suite

Individuals meeting the criteria above are encouraged to submit their resume by clicking on the "APPLY" button. McNeill Nakamoto is committed to recruiting with a focus on equal opportunity, diversity and inclusion. While we thank all candidates for their interest, only select individuals will be contacted for follow-up.

WOW. FUN. PEOPLE.

Learn more at www.mcnak.com

Category
Banking, Finance and Insurance

The #1 Podcast for Jobseekers

Latest Episode:

#42 - Apply Digital - Define Yourself as a Job Candidate

Interested in jobs like this?

Sign up for email alerts
Get job alerts

About McNeill Nakamoto Recruitment Group

McNeill Nakamoto Recruitment Group (McNak) provides permanent and temporary recruitment services in the areas of Administration, Investment & Financial Services, Accounting, Marketing, Human Re...

Read More